Securities and Exchange Commission v. Michael Anthony Gonzalez
Filing
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PRELIMINARY INJUNCTION AND ORDERS: (1) FREEZING ASSETS; (2) REQUIRING ACCOUNTINGS; (3) PROHIBITING THE DESTRUCTION OF DOCUMENTS; (4) GRANTING EXPEDITEDDISCOVERY (see document for specifics). The hearing previously set for May 25, 2012 at 9:00 a.m. is hereby vacated. by Judge S. James Otero (lc)
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SPENCER E. BENDELL, Cal. Bar No. 181220
E-mail: bendells@sec.gov
SOLOMON R. MANGOLINI, Cal. Bar No. 149811
E-mail: mangolinis@sec.gov
Attorneys for Plaintiff
Securities and Exchange Commission
Michele Wein Layne, Associate Regional Director
John W. Berry, Regional Trial Counsel
5670 Wilshire Boulevard, 11th Floor
Los Angeles, California 90036-3648
Telephone: (323) 965-3998
Facsimile: (323) 965-3908
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UNITED STATES DISTRICT COURT
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CENTRAL DISTRICT OF CALIFORNIA
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SECURITIES AND EXCHANGE
COMMISSION,
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Plaintiff,
vs.
MICHAEL ANTHONY GONZALEZ,
Defendant.
Case No. CV 12-03319 SJO (PLAx)
PRELIMINARY INJUNCTION AND
ORDERS:
(1) FREEZING ASSETS;
(2) REQUIRING ACCOUNTINGS;
(3) PROHIBITING THE
DESTRUCTION OF
DOCUMENTS;
(4) GRANTING EXPEDITED
DISCOVERY
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Whereas this matter came to be heard upon the Ex Parte Application of
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Plaintiff Securities and Exchange Commission (“Commission”) for a Temporary
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Restraining Order And Orders: (1) Freezing Assets, (2) Requiring Accountings,
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(3) Prohibiting The Destruction Of Documents, (4) Granting Expedited Discovery;
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And Order To Show Cause Re Preliminary Injunction (the “Application”). On
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April 17, 2012, the court granted Commission’s Application and ordered the
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defendant to show cause why a preliminary injunction should not be granted.
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Whereas the parties entered into a Stipulation Regarding Preliminary
Injunction And Orders: (1) Freezing Assets; (2) Requiring Accountings;
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(3) Prohibiting The Destruction Of Documents; (4) Granting Expedited Discovery;
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Whereas this Court has jurisdiction over the parties to, and the subject matter
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of this action;
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I.
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IT IS HEREBY ORDERED that Defendant, and his agents, servants,
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employees, attorneys, and affiliates, and those persons in active concert or
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participation with any of them, who receive actual notice of this Order, by personal
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service or otherwise, and each of them, be and hereby are preliminarily restrained
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and enjoined from, directly or indirectly, in the offer or sale of any securities, by
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the use of any means or instruments of transportation or communication in
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interstate commerce or by the use of the mails:
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A.
employing any device, scheme or artifice to defraud;
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B.
obtaining money or property by means of any untrue statement of a
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material fact or any omission to state a material fact necessary in order
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to make the statements made, in light of the circumstances under
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which they were made, not misleading; or
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C.
engaging in any transaction, practice, or course of business which
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operates or would operate as a fraud or deceit upon the purchaser;
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in violation of Section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a).
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II.
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IT IS FURTHER ORDERED that Defendant, and his agents, servants,
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employees, attorneys, and affiliates, and those persons in active concert or
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participation with any of them, who receive actual notice of this Order, by personal
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service or otherwise, and each of them, be and hereby are preliminarily restrained
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and enjoined from, directly or indirectly, in connection with the purchase or sale of
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any security, by the use of any means or instrumentality of interstate commerce, or
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of the mails, or of any facility of any national securities exchange:
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A.
employing any device, scheme or artifice to defraud;
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B.
making any untrue statement of a material fact or omitting to state a
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material fact necessary in order to make the statements made, in the
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light of the circumstances under which they were made, not
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misleading; or
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C.
engaging in any act, practice, or course of business which operates or
would operate as a fraud or deceit upon any person;
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in violation of Section 10(b) of the Exchange Act of 1934 (the “Exchange Act”),
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15 U.S.C. § 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. § 240.10b-5.
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III.
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IT IS FURTHER ORDERED that Defendant, and his agents, servants,
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employees, attorneys, and affiliates, and those persons in active concert or
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participation with any of them, who receive actual notice of this Order, by personal
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service or otherwise, and each of them, be and hereby are preliminarily restrained
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and enjoined from, directly or indirectly making use of the mails or means or
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instrumentalities of interstate commerce to effect transactions in, or to induce or
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attempt to induce the purchase or sale of securities, without being registered as a
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broker or dealer in accordance with Section 15(b) of the Exchange Act, 15 U.S.C.
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§ 78o(b), in violation of Section 15(a) of the Exchange Act, 15 U.S.C. § 78o(a).
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IV.
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IT IS FURTHER ORDERED that, except as otherwise ordered by this
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Court, Defendant, and his agents, servants, employees, attorneys, and affiliates,
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and those persons in active concert or participation with any of them, who receive
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actual notice of this Order, by personal service or otherwise, and each of them, be
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and hereby are preliminarily restrained and enjoined from, directly or indirectly:
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A.
transferring, assigning, selling, hypothecating, changing, wasting,
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dissipating, converting, concealing, encumbering, or otherwise
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disposing of, in any manner, any funds, assets, securities, claims, or
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other real or personal property, wherever located, of Defendant,
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whether owned by, controlled by, managed by or in his possession or
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custody;
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B.
transferring, encumbering, dissipating, incurring charges or cash
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advances on any debit or credit card or credit arrangement of
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Defendant.
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V.
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IT IS FURTHER ORDERED that, except as otherwise ordered by this
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Court, an immediate freeze shall be placed on all monies and assets (with an
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allowance for necessary and reasonable living expenses to be granted only upon
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good cause shown by application to the Court with notice to and an opportunity for
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the Commission to be heard) in all accounts at any bank, financial institution or
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brokerage firm, all certificates of deposit, and other funds or assets, held in the
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name of, for the benefit of, or over which account authority is held by Defendant,
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or any trust, partnership, joint venture, person or entity affiliated with any of them
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(including subsidiaries), including, but not limited to, the accounts set forth below:
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Company
Account Name
Account Number
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Amalgamated Bank
Michael A. Gonzalez
116004748
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Company
Account Name
Account Number
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Banco Popular North
Michael Gonzalez
Unknown
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America
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Bank of America, NA
Michael A. Gonzalez,
0328922652
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sole proprietor dba
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Michael Gonzalez INV
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Citibank, NA
Michael A. Gonzalez
40054726134
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East West Bank
Michael Gonzalez
Unknown
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E*TRADE Securities
Michael Gonzalez
60645468
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LLC
60559207
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66632921
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67097643
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First Commercial Bank
Michael Anthony
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USA
Gonzalez
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JP Morgan Chase Bank,
Michael Gonzalez INV
952433548
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NA
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JP Morgan Chase Bank,
Michael A. Gonzalez
868433475
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NA
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JP Morgan Chase Bank,
Michael A. Gonzalez
952432862
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NA
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One West Bank
M.G. Inv.
2107074481
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TD Ameritrade
Michael A. Gonzalez SEP 756-035542
006-001754
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IRA
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Michael Gonzalez
778-577951
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Michael A. Gonzalez
785-675171
Wells Fargo Bank, NA
Michael A. Gonzalez
3904107673
Wells Fargo Bank, NA
M. Gonzalez
6045293443
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Company
Account Name
Account Number
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Wescom Credit Union
Michael Gonzalez
923664
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Internet Online Bank
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VI.
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IT IS FURTHER ORDERED that any person who receives actual notice of
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this Order by personal service or otherwise, and who holds, possesses, or controls
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assets exceeding $1,000.00 for the account or benefit of Defendant, shall within
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five (5) days of receiving actual notice of this Order provide to counsel for the
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Commission a written statement identifying all such assets, the value of the assets,
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or best approximation thereof, and any account number(s) or account name(s) in
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which the assets are held.
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VII.
IT IS FURTHER ORDERED that Defendant shall, within five days of the
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issuance of this Order, prepare and deliver to the Commission a detailed and
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complete schedule of all of his assets, including all real and personal property
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exceeding $5,000 in value, and all bank, securities, futures and other accounts
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identified by institution, branch address and account number. The accountings
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shall include a description of the source(s) of all such assets. Such accountings
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shall be filed with the Court and copies shall be delivered to the attention of
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Spencer Bendell at the Commission’s Los Angeles Regional Office, located at
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5670 Wilshire Blvd., Los Angeles, CA 90036. After completion of the
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accountings, Defendant shall produce to the Commission’s Los Angeles Regional
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Office, at a time agreeable to the Commission, all books, records and other
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documents supporting or underlying his accountings.
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VIII.
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IT IS FURTHER ORDERED that, except as otherwise ordered by this
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Court, Defendant, and his agents, servants, employees, attorneys, and affiliates,
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and those persons in active concert or participation with any of them, who receive
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actual notice of this Order, by personal service or otherwise, and each of them, be
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and hereby are preliminarily restrained and enjoined from, directly or indirectly:
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destroying, mutilating, concealing, transferring, altering, or otherwise disposing of,
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in any manner, any documents, which includes all books, records, computer
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programs, computer files, computer printouts, contracts, correspondence,
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memoranda, brochures, or any other documents of any kind in their possession,
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custody or control, however created, produced, or stored (manually, mechanically,
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electronically, or otherwise), pertaining in any manner to the allegations set forth
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in the Complaint in this action.
IX.
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IT IS FURTHER ORDERED that the Commission’s application for
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expedited discovery is granted and that, immediately upon entry of this Order, the
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Commission may take discovery of parties and non-parties.
X.
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IT IS FURTHER ORDERED that the hearing previously set for May 25,
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2012 at 9:00 a.m. is hereby vacated.
XI.
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IT IS FURTHER ORDERED that this Court shall retain jurisdiction over
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this action for the purpose of implementing and carrying out the terms of all orders
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and decrees which may be entered herein and to entertain any suitable application
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or motion to modify relief or for additional relief within the jurisdiction of this
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Court.
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IT IS SO ORDERED.
May 24, 2012
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The Hon. S. James Otero
United States District Judge
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